Compliance Monitoring Program & Audit Templates
Under the compliance arrangements of the FCA’s authorisation application guidance notes, the regulator specifies the minimum requirements a firm must have for documenting their compliance procedures. The FCA specify that the Compliance Monitoring Programme (CMP) must be tailored to the business and take into account the type of regulated activity that the firm intends to carry out. The CMP must be submitted to the FCA during the authorisation application process to demonstrate what checks are carried out to ensure regulatory compliance.
Our bespoke auditing policy template set comes with customisable templates for assessing your compliance and documenting the associated checks.
Templates Included in the Policy Pack
- Compliance Monitoring Program Template
- Compliance Monitoring Assessment Template
- Quality Assurance Policy
- Audit & Monitoring Policy
- Call Monitoring Checklist (including TCF)
- Compliance Policy
Benefits of Using Templates
- Fully Customisable
- Ready to Use & Corporate Brand
- Instant Access via Download
- Professional Documents for One-Off Cost
- Free Email Support
- Comply with Relevant Laws & Regulations
Why use our templates?
Every business in the UK requires some level of compliance program, including policies, procedures and documents that set out their intent, objectives, obligations and responsibilities.
Know Your Compliance Limited are experts when it comes to developing compliance policies and regulatory procedures, so why reinvent the wheel?
Our professional, market leading policy templates and toolkits are already used by thousands of organisations across the UK who have benefitted from ready-to-use, but fully customisable policy content and formats.
Documents are available as an instant download as soon as payment has been made via the website or confirmation email.
Documents come in a Microsoft Office format and are fully customisable. You can edit all text, add content, remove sections and change the layout to suit your needs.
Our templates come with extensive guidance and free email support for editing and formating the content, as well as corporate branding.
Free annual update for the first year, providing revisions or new documents in an easy to add format (where applicable).
Developed by a team with over 18 years regulatory compliance experience and expertise in policy development.
Already used by thousands of existing clients, from global corporations, through to SME’s and sole traders.